（英语语言文学专业论文）基于有声思维法实验翻译过程中翻译单位的研究.pdf

ii 摘 要 虽说人类对翻译时大脑-这个“黑匣子”的运作机制的兴趣几乎是与有记 载的翻译研究的历史一样悠久，但碍于研究手段的缺乏，对翻译中的思维过程的 研究却一直没有很大的进展。上个世纪六十年代以来，虽然有部分翻译理论家曾 提出过一些翻译过程模式，但这些都是思辨式的，没有经过实践的检验。 要真正考察动态的翻译过程就必须借用认知心理学和心理语言学的理论和 方法。上个世纪八十年代初期，随着有声思维法的运用，翻译过程研究才开始逐 渐发展，并在九十年代快速发展，至今方兴未艾。怎样将有声思维法引入到国内 翻译资格证考试的研究中，并将翻译理论和实践有机地结合在一起，作者试图从 理论分析和实验认证两个方面来做些有益的探索。 本论文回顾了历史上翻译过程研究中和笔译有关的重要的研究成果。经作者 考证，对现有的翻译过程模式研究分成了三大流派：即传统的语言学派，文学理 论学派以及认知语言学派，并力求分析得出各个模式的理论成就以及不足之处， 为实证分析打下良好的理论基础。 有声思维法研究是本论文的另一个理论重点，作者首先介绍了有声思维法的 研究现状和研究成果。使用有声思维法研究翻译过程的历史可追溯至 1986 年， 到目前为止，国内外发表了大量有关这方面的论著。概括而言，这二十多年来有 声思维法翻译研究的内容主要包括对翻译策略、翻译单位、翻译述要、和翻译方 式四个方面的研究，作者在本文中作了详细的介绍。 通过一个实例，作者力图将有声思维法应用到翻译实践中，将理论过程研究 与国家翻译资格证考试相结合， 通过详细分析译者的翻译过程， 翻译单位的选择， 译者的认知思维过程以及翻译单位选择对翻译过程的影响，本研究发现，翻译过 程中译者采用何种翻译单位，对其翻译过程和翻译结果都产生了重要的影响。为 了尽量避免翻译过程中出现的问题，译者应该尽量采用较大的翻译单位。 关键词：翻译过程研究；翻译模式；有声思维法关键词：翻译过程研究；翻译模式；有声思维法； iii abstract although human being is very interested in the mechanism of brain-the black box” in translation, which is almost as old as the history of recorded translation itself, the study on translation thinking process has made little progress constrained by research methods. since 1960s, some translation theorists have raised a number of models of translation process, but none of the speculative models was put to any real test. to study the dynamic process of translation, we need to accomplish the goal by means of theories and cognitive and psychological linguistics. starting from the early 1980s, the study on translation process has gradually developed with the application of taps (thinking aloud protocols). and it has developed quickly in 1990s. how to introduce taps into the study of catti (china aptitude test for translators and interpreters), and combine the study of translation theory and practice together? the author attempts to explore on these issues from both theoretical and experimental levels. the dissertation reviews the main research results related to written translation in history. examined by the author, the current translation models have been divided into three schools: early traditional linguistic school, literary theory school and cognitive linguistics school. and theoretical achievements and shortcomings of various models need to be included, in order to lay a solid theoretical foundation for empirical analysis. taps is another focus of the dissertation. the author introduces the current situation and research results firstly. taps was put to use in the study of translation process which dated back to 1986. so far, a large number of papers and books have been published at home and abroad. generally speaking, the studies on taps for 20 years mainly involved in studies on translation strategies, studies on translation units, studies on translation brief and studies on translation ways. a detailed description will be provided in this dissertation. through an experiment, the author attempts to apply taps into the translation practice. by detailed analyses on translation process, choices of translation units, cognitive process of translation units and influence of translation units on translation iv process, the research demonstrates what kinds of translation units translators adopt in the translation process will exert significant influence on its process of results. from this study, we can draw a conclusion that in order to avoid problems in translating, translators should adopt larger translation units to transform in the target language. key words: study on translation process; models of translation process; taps i 三峡大学学位论文原创性声明 本人郑重声明：所呈交的学位论文，是本人在导师的指导下，独立进行研究 工作所取得的成果，除文中已经注明引用的内容外，本论文不含任何其他个人或 集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体均 已在文中以明确方式标明，本人完全意识到本声明的法律后果由本人承担。 学位论文作者签名： 日 期： 三峡大学硕士学位论文 1 chapter 1 introduction 1.1 research background traditionally translation theory has been basically focused on translation product, which is prescriptive rather than descriptive, and is limited for guiding translation practice. there are some models of translation process, and most of which are more theoretical and speculative than empirical. as a result, translation theory has been product-oriented, little attention has been paid to the translation process, and to a translators actual performance during the course. product-oriented approaches to translation theories emphasize description and comparison of grammatical structures, especially semantics, pragmatics and other text-features such as content and culture. scholars have realized that urgent need to understand how translators are working in the process. in the last few years, a number of studies have been conducted on taps in the translation processes. all these studies have focused on actually occurring data to try to explain the translation process, and participants in the experiments are involved in students, language learners and professional translators. under such background, in this study the author tries to carry out an empirical case study of postgraduate students, which aims to solve some research problems: how do translators choose translation units when they are dealing with materials of catti (china aptitude test for translators and interpreters)? what do translators cognitive activities perform within certain translation units? how do translation units influence translation processes and results? these issues are the urgent problems need to be solved. 1.2 scope of research this dissertation mainly consists of two parts: firstly, discussion on the traditional translation process; secondly, a survey on taps translation studies based on a case analysis. in the first part of the dissertation, the discussion will focus on the review of the study on main translation processes related to written translation in history, and which will be classified into three parts according to a new angle, furthermore, their values and 三峡大学硕士学位论文 2 limitations will be put forward one by one. as regards the second point, firstly, the fruits of taps translation studies in history will be fully summarized. a taps case study will be carried out to survey translators performances in translation, and the text will be chosen from a book edited by lu min, which is a relative authoritative training material on atti, received favorable comments by readers. 1.3 research aims the studies on translation process are limited by a number of factors, which are the difficulties in this field, and are still bound to be a direction for future researches. nowadays at home and abroad, many scholars have explored on this issue with taps at home and abroad, and have got plenty of research results. as the most authoritative certification of translation examinations in china, catti have attracted a large number of students taking part in it. in order to successfully pass the exam, they are bound to teach themselves seriously or attend certain training, expecting to achieve a good result. now, this dissertation will try to introduce the taps translation studies into the training of catti, combing the translation theories and the practice of translation together. taking this as a starting point, the author will put more effort on this issue in the future and strive to make some useful exploration in this field. 1.4 research methods by recording data with taps, the thinking process in the black boxes, the researchers get results through the data. to some extent, it can not completely reflect the whole process, but it makes possible to study the process of translation. the researchers draw the conclusions through the analysis of experimental data, which mainly use induction, a kind of logical reasoning process. translators describe the mental process during translation through words, and the researcher observes the psychological activities of the translators by those. translators speak out what they are thinking by introspective method-deduction, describing the processes. certainly, in the course of studies, the researcher usually combines induction and 三峡大学硕士学位论文 3 deduction together to create a compound path included in the study cycle. it can reveal the nature of the translation process, and it is better than strictly following one method. 1.5 research significance the paper aims to summarize the researches on written translation processes and taps translation studies from different perspectives. based on a case study, the author chooses a material from the training course of catti to look into the application of taps in the studies of translation units during translation process. it is a kind of tentative experiment, which will try to combine the advanced theory with the practice of translation teaching together. 三峡大学硕士学位论文 4 chapter 2 literature review of models of translation process 2.1 introductory remarks taking into account various factors, the author chooses the process of written translation as the research content of this dissertation. so this chapter will review some influential processes related to written translation in history. traditional translation studies focus on setting down certain criteria and principles, explaining its nature through some essential factors and the relationship among them, such as source text, target text, translator, readers of source text and readers of target text, etc. but bell (bell: 1991: 10) held that a theory is to explain a certain phenomenon, and the perception about the internal systems and the order of things observed. this theory exists in the mind, and just concepts constitute its internal representation. by contrast, a model is an external representation, rather than an intrinsic characterization on the interpretation mentioned above, which is the realization form of a theory. model exists as a physical object (a chart, a formula, or a discourse), and it stands for the ideas embodied in the theory. at the same time, he considers that a useful model should share the following characteristics: it must faithfully characterize the theory it represents; the characterization must reveal the distinctive features of the theory explained; it must have the heuristic function, which is easy to grasp the explanation and also conductive to in-depth study, in order to achieve a deeper understanding. now we focus on the fruits of models of translation process which were published by famous scholars in history. according to the authors collected literatures, models have been introduced by means of single writer, and they have not been categorized. in this dissertation, models of translation process related to written translation will be classified into three schools: early traditional linguistic school, literary theory school and cognitive linguistic school. 2.2 early traditional linguistic school 2.2.1 nidas model nidas model is based on the hypothesis as follows: 三峡大学硕士学位论文 5 .a careful analysis of what goes on in the process of translationhas shown that, instead of going directly from one set of surface structures to another, the competent translator actually goes through a seemingly roundabout process of analysis, transfer, and restructuring. (nida 1969:484) a (source) b (receptor) (analysis) (restructuring) x (transfer) y nidas model (1969, 2003) figure 1 a: the source language b: the receptor or target language x/y: any intermediate structure which may have been set up as a kind of universal structure to which any and all languages might be related for more economic transfer. nida holds that the system of translation consists of a procedure comprising three stages: analysis, transfer and restructuring. (1) the analysis phrase, in which the surface structure in analyzed in terms of the grammatical relationships and the meaning of the words and combinations of words. there are three major steps in analysis: determining the meaningful relationships between the words and combinations of words on a grammatical level; the referential meaning of the words and special combinations of words on the semantic level; the connotative meaning on a pragmatic level. (nida: 1969, 2003:33-34) (2) the transfer phrase, in which the analyzed material is transferred in the mind of the translator from language a to language b. (nida: 1969, 2003:33) one must not transfer the message from language a to language b merely in the form of a series of disconnected kernels. this means that we must modify slightly our basic 三峡大学硕士学位论文 6 diagram, so as to show that after having analyzed the basic components into their simplest relationships within kernels, we “back up” to the point where these kernels are carefully and properly related to each other. (nida: 1969, 2003:104) the relations between kernels may be of three main sorts: temporal, spatial and logical. as to transfer, semantic and structural adjustments need to be taken into consideration. (3) the restructuring phrase, in which the transferred material is restructured in order to make the final message fully acceptable in the receptor language. (nida:1969, 2003) it is essential that one consider the problems from three perspectives: the varieties of language or of styles which may be desirable; the essential components and characteristics of these various style; the techniques which may be employed in producing the type of style desired. (nida: 1969, 2003:120) (4) the testing of the translation, which should cover the entire range of possible problems: accuracy of reading, intelligibility, stylistic equivalence. but to do this one must focus attention not upon the extent of verbal correspondence but upon the amount of dynamic equivalence. (nida: 1969, 2003:163) comments: nidas model rests on the practice and experience of the bibles translation. he considered that the content of original text can be identified. and readers of the target text can obtain as the similar reading effect as readers of the source text. undoubtedly, it is restricted by the development of science and technology at that time, which is lack of the principles of science. furthermore, there is an important concept “kernel constructions” in nidas theory which everything else is derived from (nida, 1964:68). the concept of kernel sentences is advocated by harris, and adopted by chomsky in early models of his generative transformational grammar. nida seems to conflate the concept of kernel sentences with the basic component of phrase structures together, and which is never clear exactly what he means by such references. (gentzler, 1993, 2001:55) although there are some academic shortcomings in his theory, as a pioneer of the linguistic translation studies, nida has abundant practical translation experiences on regional texts, and he is a forerunner theorist who paid much attention to exploring the constructing of translation process, which has laid a good foundation for the research in this field. 三峡大学硕士学位论文 7 2.2.2 kades model kade holds that previous theories ignored the component steps during translation. the main achievement of his theory is that he considers translation as a kind of cross-disciplinary activity, which is closely related to linguistics, psychology and neuropsychology, etc. additionally, he introduces the communicative theory into the study on models of translation process. the pattern is as follows: translation kades model (1968:7) figure 2 s: sender l1: source language l2: receptor language e: translator as receptor of source language u: translator transforms original text to target text s: translator as sender of target text e: translator as receptor of target text : first stage : second stage : third stage in kades model, the translation process is divided into three stages: the first stage, communicative activity of translator as sender and receptor of original text; the second stage, code conversion activity from source language to target language; the third stage, communicative activity between translator as sender of target text and receptor of target text. comments: in this model, kade puts translation activity in the framework of communication theory, and describes several important aspects of translation as a communicative activity. s translator e:u:s l1-textl2-text e 三峡大学硕士学位论文 8 he holds that the translator is the participant in the communicative activity, and he/ she also is a receptor and sender. it is very important that translators role needs to transform in the translation process. but the shortcoming of this model is that is influenced by the structuralism, especially generation language school. it sets the form and content of language apart, and focuses on the language comparison. it takes conversion of translation activity as a process of recode, but pays no any attention to social culture and other non-language factors, nor considers the translators mental activity. 2.2.3 wilss model based on the descriptive linguistics and generative grammar, wilss holds that translation is a kind of inter-lingual information transmission from the perspective of information theory. the model is as shown in the following figure. s1 r1s2 r2 decode recode source language target language (wilss model) figure 3 s1: source text r1: first receptor s2: target txt r2: second receptor also final receptor in the description of translation, for the first time, wilss puts forward that translation is a process, which can be divided into two stages, and the first stage is analysis, that is, translator carefully thinks about the main intentions and rhetoric of the source text. the second stage is that translator reproduces the original intention in target language. he thinks that the c